Search for: "Financial Industry Regulatory Authority"
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27 Oct 2018, 6:00 am
Unsurprisingly, sleep-related AI found few supporters among existing sleep specialists, who perceived a threat to their authority and revenue. [read post]
26 Oct 2018, 11:47 am
Hightower also reportedly concealed from his clients that the Financial Industry Regulatory Authority (FINRA) had barred him from acting as a broker or otherwise associating with a broker-deal firm in October 2015, according to the indictment. [read post]
26 Oct 2018, 10:46 am
The Corps has significant regulatory and enforcement authority under the CWA. [read post]
26 Oct 2018, 7:13 am
FIA seeks regulatory clarity. [read post]
25 Oct 2018, 9:30 pm
” Japan’s Financial Services Agency granted self-regulatory status to the cryptocurrency industry, certifying the Japan Virtual Currency Exchange Association (JVCEA) as the industry’s self-regulatory body. [read post]
25 Oct 2018, 1:47 pm
Publication of the Financial Industry Regulatory Authority’s (“FINRA”) rule reform by the federal Securities and Exchange Commission (“SEC”) clarifies the enhanced practice rules recently enacted to protect investors from financial exploitation. [read post]
25 Oct 2018, 11:48 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Jim Flynn from associating with any FINRA member at any time. [read post]
25 Oct 2018, 9:49 am
Charla Kabana – LPL Financial – Huntington Beach, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred California financial advisor Charla Kabana from the securities industry. [read post]
25 Oct 2018, 9:01 am
Stephen Allen Murray – Raymond James & Associates – Palm Beach Gardens, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Florida financial advisor Stephen Allen Murray from associating with any FINRA member in any capacity. [read post]
25 Oct 2018, 8:23 am
A Financial Industry Regulatory Authority panel is ordering UBS Financial Services Inc. [read post]
25 Oct 2018, 6:44 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roy Failla (Failla) has been subject to three customer complaints. [read post]
Previously Registered Broker Laurence Greene Subject to Unsuitable Oil and Gas Securities Complaints
25 Oct 2018, 6:40 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Greene has been subject to two pending customer disputes concerning unsuitable investments. [read post]
24 Oct 2018, 9:03 pm
The traditional approach centers on enforcing regulatory compliance through product testing and facility inspections with legal and financial penalties for violations. [read post]
24 Oct 2018, 6:19 pm
The Financial Industry Regulatory Authority (FINRA) is one of various authorities tasked with promoting transparency and investor safety within the retail investment industry. [read post]
24 Oct 2018, 1:02 pm
Fox Rothschild will continue to follow California’s marijuana industry rule-making process, as the state’s regulatory scheme may well become a model for other states considering legalizing adult use of marijuana. [read post]
24 Oct 2018, 11:59 am
The Financial Industry Regulatory Authority (FINRA) suspended his securities license and barred him from conducting business in the industry. [read post]
24 Oct 2018, 2:04 am
Few things are more frustrating for Wall Street's customers than to believe that they were victimized by one of the industry's large broker-dealers and then find out that their disputes must be adjudicated via mandatory arbitration before the Financial Industry Regulatory Authority ("FINRA"). [read post]
23 Oct 2018, 3:14 pm
Alternatively, if the QOF has no financial statements, then the test will be based on the cost of the assets. [read post]
23 Oct 2018, 11:13 am
According to recent information released by the securities industry watchdog, FINRA (Financial Industry Regulatory Authority), over his long 35 year career with major brokerage houses including Stifel and most recently Wells Fargo, former Certified Financial Planner John Gregory Schmidt formed close personal relationships with elderly and infirm clients in order to win their trust and steal their money.Several Clients Had Alzheimer’s or… [read post]
22 Oct 2018, 7:01 am
No stranger to the CFTC or the derivatives industry. [read post]
